Broker Dealer Jobs in USA with Visa Sponsorship
Broker dealer roles in the U.S. require FINRA licensing, regulatory knowledge, and typically a finance or economics degree, all of which support H-1B visa specialty occupation eligibility. Firms at major financial centers actively sponsor qualified international candidates, though Series exam requirements add a post-hire step. For detailed occupation requirements, see the O*NET profile.
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Get Access To All JobsAbout Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Role Summary
The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.
Responsibilities
- Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
- Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
- Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
- Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
- Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
- Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
- Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
- Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework
Competencies, Skills & Experience
- 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
- Proven leadership experience with the ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
- Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
- Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
- Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
- Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
- High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure
Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.
Company Values
Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
About Marex
Marex Group plc (NASDAQ: MRX) is a diversified global financial services platform providing essential liquidity, market access and infrastructure services to clients across energy, commodities and financial markets. The group provides comprehensive breadth and depth of coverage across four core services: clearing, agency and execution, market making, and hedging and investment solutions. It has a leading franchise in many major metals, energy and agricultural products, with access to 60 exchanges. The group provides access to the world's major commodity markets, covering a broad range of clients that include some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers. With more than 40 offices worldwide, the group has over 2,300 employees across Europe, Asia and the Americas.
Marex has unique access across markets with significant share globally both on and off exchange. The depth of knowledge amongst its teams and divisions provides its customers with clear advantage, and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights, and analytics.
In the ever-evolving financial landscape, Compliance has become increasingly complex. Marex must navigate a wide range of regulatory requirements to maintain licenses and protect Marex's reputation. Compliance and Compliance Officers play a crucial role in ensuring that all activities are conducted in accordance with the law.
Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within Marex and ensuring that all employees understand their responsibilities.
Furthermore, Compliance is a bridge between Marex and regulatory authorities. Compliance is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship between Marex and regulatory bodies.
Role Summary
The Head of Broker Dealer Compliance is an expert in Broker Dealer regulation that leads a team of compliance officers in providing compliance advisory services for Equities, Fixed Income, Listed Options trading activities as well as knowledge of various regulatory reporting requirements. The role primarily focuses on providing real-time compliance advisory services to the Americas Broker Dealer business units. Such guidance is tailored to resolving issues with consideration to regulatory requirements, regulatory and firm risk, and industry best practices. In addition, this role advises individuals within the various Marex Business lines from a Compliance perspective.
Responsibilities
- Lead and develop the Americas Broker Dealer Compliance team, overseeing talent management, performance, training, and succession planning
- Serve as the primary Compliance advisor to U.S. Broker Dealer businesses, providing guidance across Equities, Fixed Income, Listed Options, and related activities
- Partner with business leaders and desk heads to deliver proactive, risk-based compliance advice and support strategic business initiatives
- Oversee the firm's Broker Dealer compliance framework, ensuring adherence to SEC, FINRA, OCC, exchange, and other applicable regulatory requirements
- Direct compliance oversight of key programs, including trade surveillance, regulatory reporting, employee compliance, and registration-related activities
- Ensure timely completion of regulatory examinations, inquiries, compliance assessments, governance reviews, and reporting obligations
- Maintain and enhance Broker Dealer policies, procedures, and Written Supervisory Procedures (WSPs) to address evolving regulatory requirements and business needs
- Promote a strong culture of compliance, risk awareness, integrity, and ethical conduct while supporting the firm's operational risk management framework
Competencies, Skills & Experience
- 10+ years of Broker Dealer Compliance experience with deep expertise in U.S. securities regulations, including SEC, FINRA, OCC, self-regulatory organizations, and applicable exchanges
- Proven leadership experience with the ability to build, develop, and motivate high-performing teams
- Strong regulatory judgment and the ability to analyze complex issues, assess risk, and deliver practical, business-focused solutions
- Exceptional communication and stakeholder management skills, with the ability to influence senior management and front-office leaders
- Proven ability to make, support, and defend complex compliance decisions in a fast-paced, highly regulated environment
- Strategic, proactive, and intellectually curious, with the ability to anticipate emerging risks and regulatory developments
- Collaborative and relationship-oriented, with demonstrated success working across functions, geographies, and levels of the organization
- High degree of integrity, professionalism, resilience, and accountability, with the ability to manage multiple priorities and deliver results under pressure
Salary Range: $290,000 to $335,000 per year and eligible for discretionary bonus.
Company Values
Be collaborative - by working together across the organisation, we foster teamwork, can better respond to challenges and successfully deliver for our clients
Act with integrity - we pride ourselves on our honesty and high ethical standards. We apply these values when working with all our clients, colleagues and other stakeholders
Be adaptable and entrepreneurial - we embrace change as markets evolve to constantly increase our efficiency and create innovative solutions for our clients. We are interested in the world around us and inquisitive about understanding the challenges and opportunities our clients face.
Be respectful – how we treat each other, and our clients says everything about who we are. We always act respectfully and treat people fairly in everything we do.
Nurture talent – we aim to grow our own talent and make Marex the place ambitious, hardworking and talented people choose to build their career. This means giving and taking stretch opportunities, taking risks, and committing to career development and support – for ourselves, and our teams.
Marex is fully committed to being an inclusive employer and providing an inclusive and accessible recruitment process for all. We will provide reasonable adjustments to remove any disadvantage to you being considered for this role. We value the differences that a diverse workforce brings to the company. We welcome applications from candidates returning to the workforce. Also, Marex is committed to avoiding circumstances in which the appearance or possibility of conflicts of interest may exist within the hiring process.
If you would like to receive any information in a different way or would like us to do anything differently to help you, please include it in your application.
See all 1,672+ Broker Dealer Jobs
Sign up for free to unlock all listings, filter by visa type, and get alerts for new Broker Dealer roles.
Get Access To All JobsTips for Finding Broker Dealer Jobs
Target broker dealers with established H-1B programs
Large wirehouses and institutional trading firms file H-1B petitions far more consistently than smaller regional dealers. Prioritize firms with a documented history of sponsoring international hires in compliance, trading, or investment banking divisions.
Frame your degree around specialty occupation criteria
USCIS requires a direct relationship between your degree field and the broker dealer role. A finance, economics, or accounting degree strengthens your petition. A general business degree may require supporting documentation showing the role demands specialized knowledge.
Understand the Series licensing timeline
FINRA Series 7 or Series 63 licensing is required post-hire, not before. Employers sponsor your license after you start. Clarify with your hiring manager whether licensing completion affects your H-1B petition timeline or probationary standing.
Register for the H-1B lottery before you have an offer
H-1B registration opens in March for an October start date. If you are job searching in late 2025, aim to secure an offer by February so your employer can register you. Missing the window means waiting a full year for the next cycle.
Ask specifically about cap-exempt employer affiliations
Some broker dealers are affiliated with universities or nonprofits, making them cap-exempt. Cap-exempt employers can file H-1B petitions year-round without lottery entry. Ask your recruiter directly whether the entity filing your petition qualifies for this exemption.
Prepare your LCA and prevailing wage documentation early
Your employer must file a Labor Condition Application with the Department of Labor before submitting your H-1B petition. The LCA certifies your offered wage meets the prevailing rate for broker dealer roles in your work location. Delays here push back your whole timeline.
Frequently Asked Questions
Do broker dealer jobs qualify for H-1B visa sponsorship?
Yes, broker dealer roles typically qualify as H-1B visa specialty occupations because they require at minimum a bachelor's degree in finance, economics, accounting, or a related field. USCIS evaluates whether the specific role demands specialized knowledge rather than general business skills, so the job description matters. Roles focused on compliance, quantitative analysis, or institutional trading tend to have stronger petition outcomes than generalist sales positions.
Which visa types are most common for broker dealer roles?
The H-1B is the primary visa for international broker dealer hires. Australian citizens may qualify for the E-3 visa, which has no lottery and is significantly easier to obtain. Canadian and Mexican nationals can explore the TN visa under the USMCA. O-1B is an option for candidates with exceptional credentials, though the standard in financial services is the H-1B petition filed by the sponsoring firm.
Do I need my FINRA Series 7 license before applying for sponsorship?
No. FINRA licensing is completed after you are hired, not before. Employers sponsor you for the Series 7, Series 63, or other required exams once you have started. However, some firms factor in your ability to pass licensing exams quickly when making hiring decisions, so demonstrating familiarity with securities regulation during your interview can strengthen your candidacy.
How competitive is H-1B sponsorship for broker dealer roles?
Sponsorship availability varies significantly by firm size. Large institutional broker dealers and wirehouses routinely sponsor H-1B petitions and have immigration counsel on retainer. Smaller regional broker dealers may be willing but lack experience with the process, which can cause delays or errors. The H-1B lottery itself has roughly a 25% selection rate, making the March registration window critical. You can browse sponsoring firms in broker dealer roles on Migrate Mate.
What happens to my visa status if my broker dealer employer loses their FINRA registration?
If your employer loses their FINRA registration or ceases operations, your H-1B status is tied to that specific employer and petition. You enter a 60-day grace period to find a new sponsor, file an extension, or change status. Portability rules under AC21 allow you to transfer your H-1B to a new employer in a same or similar role if your petition has been approved for 180 days or more.
What is the prevailing wage requirement for sponsored Broker Dealer jobs?
U.S. employers sponsoring a visa must pay at least the prevailing wage, which is what workers in the same role, area, and experience level typically earn. The Department of Labor sets this rate to make sure companies aren't hiring foreign workers simply because they'd accept lower pay than a U.S. worker. It varies by job title, location, and experience. You can look up current prevailing wage rates for any occupation and location using the OFLC Wage Search page.